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Compliance
Europe's Economic Crossroads: Recession Fears and S&P Global's
Education Center
Will Blockchain Technology Mark a Turning Point in Fraud
Education Center
7 Things We Wish Someone Had Told Us Before We Started Trading
Education Center
Speed Meets Precision: IC Markets' New TVC Showcases
Thought Leadership
Europe's Economic Crossroads: Recession Fears and S&P Global's
Education Center
Will Blockchain Technology Mark a Turning Point in Fraud
Education Center
7 Things We Wish Someone Had Told Us Before We Started Trading
Education Center
Speed Meets Precision: IC Markets' New TVC Showcases
Thought Leadership
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Executive Moves
TransferTo Adds Ex-PayPal Exec, Paul de Ruiter as Chief Compliance Officer
Mr. de Ruiter joins TransferTo from PayPal, having served as its Compliance Director for over three years out of Singapore for nearly 8 years.
Thursday, 10/12/2015 | 11:01 GMT
by
Jeff Patterson
Executive Moves
ADS Securities Onboards Patrick Lindsay as Head of Compliance
ADS Securities onboards an industry veteran at a time when global compliance costs for financial institutions are on the rise
Thursday, 08/10/2015 | 11:33 GMT
by
Victor Golovtchenko
Blogs
To Whom Should Australian OTC Derivative Issuers Report?
With the October 12 reporting deadline looming, Patricia Tsang and Sophie Gerber help issuers get a handle on reporting requirements.
Friday, 04/09/2015 | 14:20 GMT
by
Sophie Gerber
Executive Moves
OANDA Europe Taps Compliance Maven, Siddhartha Valluri, as Its Director
In his new role, Mr. Valluri will continue to foster transparency and compliance measures for the broker’s global network of operations.
Thursday, 20/08/2015 | 11:09 GMT
by
Jeff Patterson
Analysis
Is the End of Self-Deposits the Beginning of Automated Account Onboarding?
Automated account verification software streamlines the customer onboarding process. This comes at a good time with KYC rules becoming tougher.
Monday, 27/07/2015 | 08:15 GMT
by
Ron Finberg
Technology
Interview: Tradair in an Era of Surveillance
Tradair's Brian Andreyko discusses technology, trading and regulation in an interview with Finance Magnates.
Monday, 06/07/2015 | 11:53 GMT
by
Andy Traveller
Regulation
Exclusive: Simon Appleton on Big Fines, New Rules and Being Prepared
A discussion about the importance of confidence in the market for the sake of all involved.
Friday, 19/06/2015 | 20:03 GMT
by
Andy Traveller
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News
Ripple Trade to Require ID in Compliance Shift
Users of Ripple Trade wallets will be required to supply "identifiable information" later this year, according to an e-mailed notice.
Wednesday, 15/04/2015 | 07:31 GMT
by
Leon Pick
Products
NFA Charged Introducing Broker FX Evolve for Offering Services to Traders with Criminal Past
The NFA says that in connection with all the counts in this case it may impose a number of penalties including suspension from membership and a monetary fine not to exceed $250,000 for each violation.
Wednesday, 31/12/2014 | 10:32 GMT
by
Avi Mizrahi
Regulation
ASIC Forces Broker to Enhance Supervision in "Forex Crackdown"
The Australian watchdog raised concerns over Calibre’s risk frameworks, advice to clients and supervision of representatives, and the company has changed the way it does business adhering to a stricter procedures.
Monday, 08/12/2014 | 07:19 GMT
by
Avi Mizrahi
Uncategorized
Are Brokers Migrating to Latin America Due to Stringent US Regulation?
We certainly see that more and more brokers going to Latin America, however I wouldn't call it migration.
Wednesday, 03/12/2014 | 00:01 GMT
by
Peter Tatarnikov
Uncategorized
How Has The Financial Commission Fared With Cryptocurrency Providers?
The Financial Commission is currently working on creation of a regulatory framework for crypto currency ECNs, that is scheduled to launch
Monday, 17/11/2014 | 00:01 GMT
by
Peter Tatarnikov
News
PayPal compliance exec moves to Bitstamp to lead compliance program
Tuesday, 04/11/2014 | 12:20 GMT
by
Leon Pick
Regulation
Regulatory Authorities Nearing FX Manipulation Charges, Fines Approaching $41B?
Following a yearlong investigation by a number of global regulators alleging FX manipulation by many of the world’s leading banks, the potential costs associated with fines are starting to be weighed.
Tuesday, 21/10/2014 | 08:33 GMT
by
Jeff Patterson
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Analysis
Worldwide Investment Fund Reliance Prompts Regulatory Focus
With wounds of the previous global financial crisis still lingering, asset managers and regulators are focusing on the mounting reliance of investment funds worldwide, which are estimated at 90% of the global economy.
Monday, 13/10/2014 | 06:39 GMT
by
Jeff Patterson
Interviews
CySEC's Demetra Kalogerou Talks Binary Options, Regulatory Headwinds
Forex Magnates checked in with Demetra Kalogerou, Chairman of the Cyprus Securities and Exchange Commission (CySEC).
Monday, 15/09/2014 | 00:04 GMT
by
Avi Mizrahi
Regulation
CySEC Launches New Regulatory Directive against Market Abuse
The Cypriot regulator has launched a series of mandates and edicts policing against unregulated entities, including a recent push to curb market abuse (MAR). The new amendments will take effect in 2016.
Tuesday, 09/09/2014 | 11:23 GMT
by
Jeff Patterson
Analysis
US Watchdog Pays $300,000 Whistleblower Award to Compliance Agent Who Reported on His Firm
The SEC proves that it is willing to pay big for employees to rat on their firms in its battle against fraud and corruption with the first award for a whistleblower with an audit or compliance function at a company.
Tuesday, 02/09/2014 | 19:05 GMT
by
Avi Mizrahi
Executive Moves
Andrew Ferry Appointed to Head FX Compliance at JPMorgan
The biggest US bank by assets JPMorgan Chase & Co. (JPM), has appointed Andrew Ferry to head its FX and rates markets compliance team. The position was previously non-existent as the new team has been formed just recently.
Thursday, 31/07/2014 | 12:09 GMT
by
Victor Golovtchenko
Expert Insights
June EMIR Q and A – Too Little Too Late?
In June, a further ESMA Q and A update was published and unlike the May update.
Tuesday, 08/07/2014 | 03:00 GMT
by
Mark Kelly
Executive Moves
Jennifer Granholm Promoted to Role of Senior VP of Compliance at ADS Securities
Abu Dhabi-based ADS Securities has recently promoted Jennifer Granholm to the rank of Senior Vice President of Compliance & Money Laundering Reporting Officer, having served with the firm previously as a Compliance Manager.
Monday, 07/07/2014 | 16:05 GMT
by
Jeff Patterson
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Brokers
Exec Moves: Integral's Lukasiewicz's New Role and CFH Clearing's Latest Appointment
Forex Magnates' Experts site reports the most notable moves in the dynamic FX industry. Today witnessed Mr. Lukasiewicz's parting ways with Integral, and the appointment of Head of Sales at CFH Clearing.
Thursday, 03/07/2014 | 15:06 GMT
by
Jeff Patterson
Expert Insights
Broker Strategy: Internal Vs. Third-Party Marketing Teams
In most cases an internal person/team is needed to interface with the management.
Wednesday, 02/07/2014 | 04:09 GMT
by
Bart Burggraaf
Executive Moves
Former Lloyds Director, Alison Hewitt, Joins HSBC as European Head of Regulatory Compliance
Europe’s largest bank, HSBC Holdings Plc, has announced the appointment of Alison Hewitt, formerly of Lloyds Banking Group, having recruiting her for the key role of Head of Regulatory Compliance in its European Division.
Monday, 23/06/2014 | 13:38 GMT
by
Jeff Patterson
Executive Moves
IEX Appoints Leading SEC Official, John Ramsay, as Its Newest Regulatory Officer
The IEX, a beacon of transparency and fairness in the financial industry, has announced that former SEC Acting Director John Ramsay will be joining the organization as its newest Chief Market Policy and Regulatory Officer.
Tuesday, 17/06/2014 | 10:13 GMT
by
Jeff Patterson
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